Susanne Stauffer has been Director of F L Putnam Investment Management since October 2014, is not listed as a control person, but directly owns under 5% of the firm.
F L Putnam Investment Management Co. is a Lynnfield, MA firm with $9.72B under management, 3,054 clients and 90 advisers across 15 offices, as of its August 2026 filing.
- – · 13 yearsWellesley, MA · Adviser representative · Firm CRD 106223
- – · 2 yearsNewton Centre, MA · Adviser representative · Firm CRD 106223
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 63 | Uniform Securities Agent State Law Examination | 15 September 1982 |
| Series 7 | General Securities Representative Examination | 21 August 1982 |
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- CRD
- 1060211
- Firm
- F L Putnam Investment Management · CRD 106223
- Role
- Director
- Registration
- No current adviser or broker registration
- Disciplinary history
- Not yet shown here · SEC record
Where does Susanne Stauffer work?
Susanne Stauffer has been Director of F L Putnam Investment Management Co. since October 2014.
Does Susanne Stauffer have a current investment-adviser registration?
Susanne Stauffer has no current investment-adviser or broker registration.
What exams has Susanne Stauffer passed?
Susanne Stauffer has passed 2 licensing exams: the Series 7 and Series 63. The earliest, the Series 7, was passed in August 1982.
Where was Susanne Stauffer previously registered as an investment adviser?
Susanne Stauffer has past investment-adviser registrations through F L Putnam Investment Management Co., May 2003 to January 2017; Putnam F L Investment Management Co, January 2000 to December 2002, across 1 firm.
Is Susanne Stauffer registered with FINRA?
No. Susanne Stauffer has no current broker registration.
How can I verify Susanne Stauffer’s record?
Search CRD 1060211 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Susanne Stauffer’s full registration record.
- Reed ManningPresident, Chief Executive Officer, Director
- Keith MarksChief Compliance Officer
- Margaret BarneyTrustee of Margaret Wilson Putnam Trust (Tax Id Number Ending in 03)
- Ellen FlahertyDirector, Clerk, SR. VP, COO
- Alan GosuleDirector
- Meredith LepperDirector
- Richard OsterbergDirector, Trustee of Margaret Wilson Putnam Trusts (Tax Id Numbers Ending 01, 02, 03, 07), Executor Estate of David Putnam
- John PutnamTrustee of Margaret Wilson Putnam Trusts (Tax Id Numbers Ending in 01, 02, 03)
- Yvette PutnamExecutor of Estate of David Putnam, Trustee of Margaret Wilson Putnam Trust (Tax Id Number Ending in 07)
- Connor StewartDirector
- Michael TimmermansChief Legal Officer
- Russell ValdezDirector